Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LU, HUAIYU
Chinese Name of Relevant Individual
陆怀瑜
HKMA Registration Number
AJ0240
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Aug 2022 - 09 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
24 Aug 2022 - 09 Oct 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
24 Aug 2022 - 09 Oct 2023
Is an Executive Officer? (Yes / No)
No
Records: 1-3 of 3
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
LU, HUAIYU
:
Chinese Name of Relevant Individual
陆怀瑜
:
HKMA Registration Number
AJ0240
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AJ0240
UBS AG
Type 1: dealing in securities
24 Aug 2022 - 09 Oct 2023
No
AJ0240
UBS AG
Type 4: advising on securities
24 Aug 2022 - 09 Oct 2023
No
AJ0240
UBS AG
Type 6: advising on corporate finance
24 Aug 2022 - 09 Oct 2023
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.